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Nu Advisory Partners

Compliance, Private Wealth Management Compliance, Associate / Vice President, New York

Goldman Sachs

Goldman Sachs

Accounting & Finance, Legal
New York, NY, USA
Posted on Thursday, June 6, 2024

Job Description

Global Compliance
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Job Summary & Responsibilities

Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This supports the Private Wealth Management Business.

Private Wealth Management Compliance is seeking an Associate/Vice President to join our team and be based out of the New York office. As part of this team, the primary responsibilities will include:

  • Monitoring and conducting surveillances focusing on compliance with regulatory and/or internal controls
  • Assessing financial product and transaction suitability relating to a range of clients, ensuring strict compliance with regulations and internal policies
  • Interacting with the PWM business, Divisional Compliance, Legal and Operations teams on a daily basis
  • Reviewing marketing materials that are used to pitch Private Wealth Management products and services to clients
  • Advising Private Wealth Management teams on regulations, policies and client issues
  • Participating in US PWM and Global Compliance projects and initiatives

Basic Qualifications:

  • Bachelor’s degree required
  • Three to five years of relevant experience

Skills and Characteristics:

An ideal candidate should:

  • Have experience with legal, regulatory and compliance issues in the financial industry
  • Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
  • Work well under pressure and has a positive, hands-on, “can do” attitude
  • Be able to devise and implement creative and innovative solutions
  • Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
  • Be a quick learner and self-starter, with the ability to work effectively with minimal supervision
  • Have the ability to multi-task and adapt to new situations and a dynamic work environment
  • Hold the Series 7, 9 and 10 or be willing and/or able to pass exams in a reasonable period of time


At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.